Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 30, 2016 indicate that Connecticut-based Investors Capital broker Robert Estevez is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Estevez (CRD# 3161419).
Robert Estevez has spent seventeen years in the securities industry and has been registered with Investors Capital in Greenwich, Connecticut since 2008. He was previously registered with Eastbrook Capital Group, which has since been expelled by FINRA, in New York, New York (2001-2008), and Prime Charter in New York, New York (1998-2001). He is a registered broker with 41 US states and territories.
According to his BrokerCheck report, Robert Estevez has received one regulatory sanction, one pending customer complaint, and four customer complaints that were denied or withdrawn.
In July 2016 a customer alleged Robert Estevez, while employed at Investors Capital, engaged in unspecified misconduct that resulted in losses. The customer is seeking unspecified damages in the pending complaint.
In February 2016 a customer alleged Robert Estevez, while employed at Investors Capital, did not provide downside protection against unrealized investment losses. The customer sought unspecified damages in the complaint, which was withdrawn.
In 2014 a customer alleged Robert Estevez, while employed at Investors Capital, recommended unsuitable investments and executed an unauthorized sale. The customer sought $13,936 in damages in the complaint, which was denied.
In 2013 the State of New Hampshire sanctioned Robert Estevez following allegations he “engaged in telemarketing of New Hampshire residents in violation of FINRA Rule 3230 and New Hampshire law.” He was issued a fine of $50,000 and withdrew his licensure in the state, agreeing not to seek licensure for three years.
If you have complaints regarding or have lost money investing with Robert Estevez, you may be entitled to recover your losses. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. Fitapelli Kurta takes every case on a contingency basis, which means Fitapelli Kurta only gets paid if and when you collect money. By law there may be a limited window to file your claim, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.